NASDAQ’s 20% Rule – Consideration When Going Public

When a company goes public on the Nasdaq Stock Market, it must comply with various requirements, including obtaining stockholder approval for certain…

Understanding the SEC’s Concept Release on the Definition of a Foreign Private Issuer

In a recent move, the U.S. Securities and Exchange Commission (SEC) issued a concept release examining the definition of a Foreign Private Issuer. This step…

Navigating Corporate Governance: Requirements for Nasdaq and NYSE Companies

If you're eyeing a listing on the New York Stock Exchange (NYSE) or Nasdaq Stock Market (Nasdaq), you'll need to align your…

Navigating SEC Disclosures: Director and Executive Officer Information

Item 401 of Regulation S-K requires that companies make certain disclosures about their directors, executive officers, and nominees. This information helps shareholders…

Navigating SEC Form 6-K

For foreign private issuers (FPIs) listed in the United States, staying compliant with U.S. Securities and Exchange Commission (SEC) regulations is a…

Navigating the Nasdaq Listing Process

Listing on Nasdaq is a major milestone for companies aiming to go public, offering access to global capital markets and increased visibility.…

NASDAQ Listing Process and Documentation

The NASDAQ listing process involves several steps and requirements for companies seeking to list their securities on one of NASDAQ’s three market…

NASDAQ Corporate Governance Requirements for Foreign Private Issuers

Public companies that are foreign private issuers listed on the Nasdaq Stock Exchange are subject to specific corporate governance requirements, which are…

The Impact of Social Media on Market Manipulation

Social media has transformed the way information spreads, connecting billions of users instantly. While this connectivity fosters communication and engagement, it also…

Regulation of Financial Influencers: Navigating Securities Law Violations and SEC Enforcement

In the age of social media, financial influencers, or “finfluencers,” have become powerful voices in shaping investment decisions. With large followings on…

SEC Axes NYSE and NASDAQ Diversity and Climate Change Disclosures

In recent months, Nasdaq Stock Market LLC (“Nasdaq”) diversity rules and Securities and Exchange Commission (“SEC”) climate disclosures for public companies have…

SEC charges William A. Justice, Brian D. Shibley, Randell R. Torno, and Keith A. Rosenbaum for their roles in the Phillip Verges $112 million pump-and-dump scheme 

On July 1, 2025, the Securities and Exchange Commission (“SEC“) charged William A. Justice, Brian D. Shibley, and Randell R. Torno, each…

Finra’s Role in IPOs for Nasdaq and NYSE Listings

Launching an Initial Public Offering (IPO) on the Nasdaq or NYSE is a significant milestone for companies aiming to access public capital…

A Beginner’s Guide to Listing on the OTCID Basic Market

On July 1, 2025, OTC Markets introduced the OTCID Basic Market, replacing the OTC Pink Market. This new platform offers a streamlined…

Understanding Form S-3: A Guide to Securities Registration

Form S-3 is a concise filing option that enables issuers to register a range of securities, such as common and preferred stocks,…

Terminating SEC Reporting Obligations in Abandoned IPOs

An Initial Public Offering (IPO) represents a significant milestone for companies seeking to go public, particularly for smaller issuers targeting listings on…

Navigating SEC Reporting: Suspension and Voluntary Filer Status Explained

When a public company is registered under Section 12 or subject to Section 15(d) of the Securities Exchange Act of 1934, it…

What Is Form S-8? A Comprehensive Guide for SEC Registrants

Registration of securities on Form S-8 is a short-form registration statement under the Securities Act of 1933, as amended, providing significant benefits to small…

Alien Explains SEC Dealer Rule and Toxic Lending

SEC Staff Gears Up to Absorb PCAOB Duties if It’s Abolished

The Securities and Exchange Commission (SEC) is mapping out plans to take over the functions of the Public Company Accounting Oversight Board…

What is an Affiliate under SEC Rules?

Assessing affiliate status is a nuanced but crucial exercise for public companies, affecting everything from Rule 144 sales to registration eligibility and…

Nasdaq Initial Listing Guide: Capital Market Standards (2025)

The Nasdaq Capital Market is a top choice for early-stage companies aiming to access public capital. Listing on the Nasdaq Capital Market…

SEC Dealer Rule Collapse: Impact on Toxic Lenders & OTC Penny Stocks

Learn how the SEC's Dealer Rule targeted toxic lenders in penny stock markets — and why its defeat means ongoing risks for…

SEC Form 8-K Current Reports – SEC Reporting Requirements

A Form 8-K is a current report that public companies must file with the Securities and Exchange Commission (“SEC”) to report material…

FINRA Corporate Action Requests

The Financial Industry Regulatory Authority (FINRA) oversees the processing of corporate action requests for companies trading in the over-the-counter (OTC) markets under…

Understanding IPOs

An “IPO” is the initial public offering by a company of its securities.  In an IPO, the company offers and sells stock,…

Ronald Bauer Sentenced To 20 Months For Pump-And-Dump Scheme

On March 20, 2025, the United States Attorney for the Southern District of New York announced that RONALD BAUER was sentenced to…

Risk Factors and Other Hot Topics for Public Companies to Consider in 2025

Each year, as companies prepare to draft their year-end Annual Reports on Form 10-K, changes in rules, regulations, and disclosure trends, along…

SEC Axes NYSE and NASDAQ Diversity and Climate Change Disclosures

In recent months, Nasdaq Stock Market LLC (“Nasdaq”) diversity rules and Securities and Exchange Commission (“SEC”) climate disclosures for public companies have…

When is a NYSE and NASDAQ Director independent? Independent Director Compliance

NYSE and Nasdaq require that independent directors not hold management positions at the public company, its parents or subsidiaries. Additionally, former executives…